Form 4 NEOGENOMICS INC For: Apr 22 Filed by: Weiss Lawrence Martin
April 26, 2021 5:49 PM EDT
| FORM
4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities
Exchange Act of 1934
or Section 30(h) of the Investment Company Act of
1940
|
| OMB APPROVAL |
| OMB Number: |
3235-0287 |
| Expires: |
December 31, 2014 |
| Estimated average burden |
| hours per response: |
0.5 |
|
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|
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue.
See
Instruction 1(b).
|
1. Name and Address of Reporting Person
*
| 12701 COMMONWEALTH DRIVE SUITE 9 |
|
(Street)
|
2. Issuer Name
and
Ticker or Trading Symbol
NEOGENOMICS INC
[
NEO
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
|
10% Owner |
| X |
Officer (give title below) |
|
Other (specify below) |
| Chief Medical Officer |
|
3. Date of Earliest Transaction
(Month/Day/Year)
04/22/2021
|
4. If Amendment, Date of Original Filed
(Month/Day/Year)
|
6. Individual or Joint/Group Filing (Check
Applicable Line)
| X |
Form filed by One Reporting Person |
|
Form filed by More than One Reporting
Person |
|
| Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned |
|---|
| 1.
Title of Security (Instr.
3)
|
2.
Transaction Date
(Month/Day/Year) |
2A.
Deemed Execution Date, if any
(Month/Day/Year) |
3.
Transaction Code (Instr.
8)
|
4.
Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
|
5.
Amount of Securities Beneficially Owned Following Reported
Transaction(s) (Instr.
3 and 4)
|
6.
Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
|
7.
Nature of Indirect Beneficial Ownership (Instr.
4)
|
| Code |
V |
Amount |
(A) or (D) |
Price |
|
Common Stock
|
04/22/2021 |
|
M |
|
6,667
|
A
|
$
9.22
|
112,464
|
D
|
|
|
Common Stock
|
04/22/2021 |
|
M |
|
9,005
|
A
|
$
19.6
|
121,469
|
D
|
|
|
Common Stock
|
04/22/2021 |
|
M |
|
9,378
|
A
|
$
28.33
|
130,847
|
D
|
|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
|
5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
|
6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
|
8. Price of Derivative Security (Instr.
5)
|
9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
|
10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
|
11. Nature of Indirect Beneficial Ownership (Instr.
4)
|
| Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
|
Stock Option (Right to Buy)
|
$
9.22
|
04/22/2021 |
|
M |
|
|
6,667
|
|
04/19/2023 |
Common Stock
|
6,667.00
|
$
0
|
0
|
D
|
|
|
Stock Option (Right to Buy)
|
$
19.60
|
04/22/2021 |
|
M |
|
|
9,005
|
|
03/01/2024 |
Common Stock
|
9,005.00
|
$
0
|
18,012
|
D
|
|
|
Stock Option (Right to Buy)
|
$
28.33
|
04/22/2021 |
|
M |
|
|
9,378
|
|
03/02/2027 |
Common Stock
|
9,378.00
|
$
0
|
28,136
|
D
|
|
|
Stock Option (Right to Buy)
|
$
13.87
|
|
|
|
|
|
|
|
12/12/2023 |
Common Stock
|
8,334.00
|
|
8,334
|
D
|
|
|
Stock Option (Right to Buy)
|
$
53.17
|
|
|
|
|
|
|
|
03/02/2028 |
Common Stock
|
29,895.00
|
|
29,895
|
D
|
|
| Explanation of Responses: |
|
|
|
|
|
|
/s/ Lawrence M. Weiss |
04/26/2021 |
|
** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
LIMITED POWER OF ATTORNEY
Be it acknowledged that I, Lawrence Weiss with a mailing address of 31 Columbia, Aliso Viejo, California 92656, the "Principal," do hereby grant a limited and specific power of attorney to Jessica King and Denise E. Pedulla of 12701 Commonwealth Drive, Suite 9, Fort Myers, Florida 33913, each as my "Attorney-in-Fact."
Said Attorneys-in-Fact shall have full power and authority to undertake and perform only the following acts on my behalf:
Liaising with government or other entities as necessary for the purpose of filing documents with the Securities and Exchange Commission on my behalf.
The authority herein shall include such incidental acts as are reasonably required to carry out and perform the specific authorities granted herein. My Attorney-in-Fact agrees to accept this appointment subject to its terms and agrees to act and perform in said fiduciary capacity consistent with my best interest, as my Attorney-in-Fact in her discretion, deems advisable.
The Attorney-in-Fact shall be able to have the authority herein beginning December 11, 2018 and end when the act has been completed. Immediately afterwards this form shall become void. In addition, this Power of Attorney shall immediately be voided upon a revocation form being authorized by the Principal.
This Power of Attorney is governed by the laws of the State of California and shall be signed by the presence of two (2) witnesses.
Principal
/s/ Lawrence Weiss
ACCEPTANCE OF APPOINTMENT
I, Jessica King, the Attorney-in-Fact, hereby accept appointment as Attorney-in-Fact in accordance with the foregoing instrument.
Attorney-in-Fact
/s/ Jessica King
I, Denise E. Pedulla, the Attorney-in-Fact, hereby accept appointment as Attorney-in-Fact in accordance with the foregoing instrument.
Attorney-in-Fact
/s/ Denise E. Pedulla
Affirmation by Witness 1
I, Liane Iguchi, witnessed the execution of this Power of Attorney by Lawrence Weiss and I affirm that he appeared to me to be of sound mind, was not under duress, and affirmed to me that he was aware of the nature of this Power of Attorney and signed it freely and voluntarily.
Witness 1 Signature /s/Liane Iguchi
Print Name: Liane Iguchi
Date: 12/11/2018
Affirmation by Witness 2
I, Shereen Anderson, witnessed the execution of this Power of Attorney by Lawrence Weiss and I affirm that he appeared to me to be of sound mind, was not under duress, and affirmed to me that he was aware of the nature of this Power of Attorney and signed it freely and voluntarily.
Witness 2 Signature /s/ Shereen Anderson
Print Name: Shereen Anderson
Date: 12/11/2018
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